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United States
Posted On Aug 12, 26
Full-time 2 views Experience : 10-20 yrs required
Job Tags:
1940 Act advertising asset management corporate compliance due diligence entertainment equity ETFs Ethics finance FINRA Investment Advisers Act of 1940 Investment Company Act lending marketing Mutual Funds registered investment companies regulatory compliance
Job Tags:
1940 Act advertising asset management corporate compliance due diligence entertainment equity ETFs Ethics finance FINRA Investment Advisers Act of 1940 Investment Company Act lending marketing Mutual Funds registered investment companies regulatory compliance

Title: Chief Compliance Officer Job Responsibilities: Compliance Leadership & Governance - Serve as the designated Chief Compliance Officer for the company's registered investment adviser and applicable registered investment companies. - Maintain and oversee the firm's compliance program pursuant to Rules 206(4)-7 and 38a-1 under...

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